Social Impact Assessment

Topic 13
Social Impact Assessment
Introduction
Checklist
Session outline
Reference list and further reading
Training activities
Support materials
Objectives
To develop an understanding of:
Training session outline
Topic 13Social Impact Assessment
the role and scope of Social Impact Assessment (SIA) in

relation to the EIA process;
the types of social impacts that can result from

development proposals; and
the principles, procedure and methods that are used to

assess and mitigate social impacts.
Relevance
For certain projects, impacts on people can be by far the most
important consideration. Adverse social impacts can reduce
the intended benefits of a proposal, and can threaten its
viability if they are severe enough. In such cases, a social
impact assessment (SIA) is carried out as part of the EIA process,
or sometimes as a parallel or separate review. This approach is
used to analyse the impacts of a proposal on individuals and
communities, and to mitigate the adverse effects and enhance
the positive effects. It also provides a framework to manage
social change.
Timing
Two hours (not including training activity)
Important note to trainers

You should design your presentation with the needs and
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background of participants in mind, and concentrate on

those sections most relevant to your audience. The session
presentation timings are indicative only.
Time taken for the training activities can vary enormously
Social
Impact
Assessment
depending on the depth of treatment, the existing skills

and knowledge of participants and the size of the group.
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461
Information checklist
Obtain or develop the following, as appropriate:

o
examples of locally relevant SIA procedure and methods,

and examples of how they have been used;
examples of any EIA reports which include reference to

social impacts or stand alone SIA reports;
examples of local studies or research on social change,

processes and impacts of development, either generally
or in relation to particular groups or communities;
estimate of the resources (time, money and expertise)

necessary to undertake an SIA of a major proposal,
locally;
contact names and telephone numbers of people,

agencies, organisations and environmental
information/data centres able to provide assistance in
relation to social impacts and their assessment; and
other resources that may be available such as videos,

journal articles, computer programmes, lists of speakers,
and case studies.
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Welcome participants to the session by introducing yourself and

getting them to introduce themselves. Outline the overall coverage of
the session, its objectives, and why they are important.
This topic provides an introduction to Social Impact Assessment (SIA) and

describes the concepts, approaches and methods that are used. It provides
basic guidance on why and how SIA is carried out as an integral part of the
EIA process. Reference is made also to the more comprehensive forms of SIA.
Full coverage of SIA would require a training manual of its own.
Session outline
Briefly outline the role and purpose of SIA in relation to the EIA process.
Note that social impacts may also require a comprehensive study,
parallel to, but separate from, an EIA.
There is no widely agreed definition of SIA. Put simply, it focuses on the

impact of development proposals on people. EIA legislation and procedures
provide a framework for this purpose; for example, the term environment is
defined broadly to include social, cultural, and other human dimensions.
In this context, the aim of SIA is to identify the human consequences of a
proposed action, giving particular attention to the mitigation of adverse or
unintended aspects. This approach follows approximately the steps of the
EIA process.
Under EIA mandates, the scope of SIA differs from country to country,
depending on the institutional arrangements that are in place. The
consideration of social impacts is triggered by and, in some cases limited to,
environmentally related changes. These can be particularly important in
developing countries where large numbers of people are dependent on the
resource base for their subsistence and livelihood. In other cases, once an
EIA is required for a proposal, major effects on the human environment can
be considered in their own right. These can include potential changes to
population, lifestyle, cultural traditions, community dynamics, and quality
of life and well being.
A more comprehensive SIA may be carried out separately from the EIA
process. For example, this division is institutionalised at the World Bank,
where broadly based SIA, equivalent to understanding and management of
social change processes, is promoted in support of the sustainable
development agenda. This framework covers the full scope of social
considerations, including poverty alleviation, gender balance, governance
and institutions, and equity, rights and justice issues. Many SIA practitioners
endorse such an overarching approach, beyond what is possible in the
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context of EIA. However, there is not yet a common understanding of its

scope, boundaries and content (also called social appraisal or human impact
assessment).
Introduce the concept of social impacts and what causes them. Ask
participants to identify those that are important locally. Mention that
social impacts were addressed in Topic 6 Impact analysis and are
an important part of an integrative approach as shown in Topic 15
Future directions.
Social impacts can be defined as the consequences to people of any proposed
action that changes the way they live, work, relate to one another, organise
themselves and function as individuals and members of society. This
definition includes social-psychological changes, for example to peoples
values, attitudes and perceptions of themselves and their community and
environment. Indeed, some SIA practitioners consider social impacts to be
only as experienced (e.g. stress, disruption, hunger) and differentiate these
from the causal processes (e.g. over-crowding, infrastructure pressure,
poverty).
13-1
A composite list of social impacts is contained in Handout 13-1. However,

these should be carefully reviewed for their relevance in a given situation or
country, for example to development goals or to basic needs for food, water
and shelter. Not all SIA practitioners would agree with the classification of
impacts, and not all of the impacts listed are necessarily considered as part
of EIA practice. In addition, many of the impacts listed are not easily
measurable, and require analysis of a number of variables. For this reason,
basic dimensions of social change are used instead as a reference point, for
defining impacts and means of mitigating them.
The key characteristics and variables that are often correlated with adverse
social impacts of development proposals include:
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demographic change, e.g. size and composition of resident population,

influx of temporary work force or new recreational users (disrupts the
cohesion of a small, stable community);
economic change, e.g. new patterns of employment/ income, real estate

speculation (marginalises long term, older residents);
environmental change, e.g. alterations to land use, natural habitat and

hydrological regime (loss of subsistence or livelihood in resourcedependent community); and
institutional change, e.g. in the structure of local government or

traditional leadership, zoning by-laws or land tenure (reduced access
or loss of control leads to disempowerment or impoverishment of the
established population).
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lifestyle impacts on the way people behave and relate to family, friends
and cohorts on a day-to-day basis;
cultural impacts on shared customs, obligations, values, language,

religious belief and other elements which make a social or ethnic group
distinct;
community impacts on infrastructure, services, voluntary

organisations, activity networks and cohesion;
amenity/quality of life impacts on sense of place, aesthetics and heritage,

perception of belonging, security and livability, and aspirations for the
future; and
health impacts on mental, physical and social well being, although

these aspects are also the subject of health impact assessment (see Topic
6 Impact analysis).
The main types of social impact that occur as a result of these project-related
changes can be grouped into five overlapping categories:
The key points of the above discussion are that:
social and biophysical impacts are interconnected and should be

assessed together;
SIA is understood to be concerned with the human consequences of

development proposals, identifying all significant social impacts that
arise in this context; and
EIA combined with SIA is an entry point to integrated impact

assessment in support of sustainability aims of maintaining natural
capital and building human capital (see Topic 15 Future Directions).
Note the types of projects that can require SIA, and indicate how
social impacts can vary with different stages of the project life cycle.
Ask participants to identify the social changes that are important
locally in this context.
Social impacts can be a significant aspect of many types of projects, not only
proposals for large scale development, such as a dam or highway, but also in
the closing down of existing facilities, such as a military base or government
facility. Like environmental impacts, the referents of project-induced social
change include severity, duration, probability, importance, etc. They also
vary with the setting and the characteristics of the community affected. For
example, mining or energy developments adjacent to a small, remote
community or in an area occupied or used by indigenous people are almost
always associated with major social impacts.
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Often, in EIA, most attention is focused on such high profile issues, notably
for projects which displace people and affect vulnerable ethnic minorities (as
emphasised in the policy of the World Bank). These are unquestionably
important internationally, not infrequently raising issues of human rights
and social justice (see case example below). In particular, involuntary
resettlement has extreme social impacts, which in many cases warrant
separate and specific study. However, these issues are a relatively small subset of the overall social impacts associated with development projects.
Examples of projects with important and everyday social impacts include:
landfill and hazardous waste disposal sites (perceived health risks, loss
of amenity);
power and industrial plants (community stress from influx of work

force, pressure on infrastructure);
dams and reservoirs (lifestyle disruption resulting from relocation,

land use alteration or long lead time to full impoundment); and
roads and linear developments (dislocation of activity networks and

relationships).
It is also important to consider how social impacts may vary in accordance

with different stages of the project life cycle:
Planning or policy development This phase, beginning with project

notification (or rumour) can have its own social impacts, even though
nothing has actually happened. For example, the following can occur:
changed expectations or fears about the community and its future;
increase or fall in property prices depending on the nature of the
proposal;
real estate speculation, which locks up or freezes land; and
concerns about the environmental, social or health impacts, which
may lead to activism, resulting in community polarisation.
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Construction/implementation This phase usually will have the greatest

social impact. Construction work is socially disruptive. It frequently
involves clearing land, building physical plant and putting in access
roads and utilities. The resulting traffic congestion, dust, noise and
other hazards typically undermine the quality of life of the resident
population. Depending on project type and scale, there may be a large
influx of temporary workers, whose demands and behaviour may be at
odds with those of local people. In small communities, this phase often
creates a strain on community infrastructure and may be marked by a
boom and bust cycle. These changes, inter alia, may fuel resentment,
affect community cohesion or undermine cultural values or traditional
institutions.
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Operation and maintenance This phase of a project normally continues

over many years. In many cases, it will be relatively stable period
compared to the social changes that occurred during construction. For
one thing, operation requires fewer workers, and newcomers often
become gradually assimilated into the community. Longer-term
economic opportunities and social benefits from the development will
be realized during this stage. On the other hand, the operation of
power, industrial and waste treatment facilities can bring another set of
social impacts and health hazards from pollution emissions. However,
the community also may be different from that which existed before
the project was constructed, possibly adjusting to an industrial
operation if it is carefully managed.
Decommissioning or abandonment This phase can have a significant

social impact, especially where a facility is the mainstay of the local
economic base or the only employer as in a single purpose mining
community. Depending on condition and location, it may be possible to
convert a site to its former or an alternative use, such as restoring an
open pit mine for agriculture or recycling a port facility to recreational
or commercial use. In other cases, however, industrial lands may be
contaminated and require costly remediation treatment to rehabilitate
or secure them to ensure the health and safety of nearby residents.
Box 1: Social impact of the Sardar Sarovar scheme, India

Project background
Long planned, construction of the Sardar Sarovar scheme began in 1987. It
comprises: a high dam on the Narmada River approximately 180 km upstream from
the Arabian Sea; a large reservoir impounding water to a level of approximately
150m and submerging 37,000 hectares of land across three states; the diversion of 9.5
million acre feet of water from the Narmada River into a canal and irrigation system
to deliver drinking and irrigation water to drought-prone areas of Gujarat. The main
canal is 250m wide at its head and 100m wide at the Rajasthan border 450 km
distant. With an aggregate length of 75,000 km, the distribution network will require
approximately 80,000 hectares of land, double the submergence area.
Social issues and impacts
The environmental and social impact of the project components is immense and
extends over a wide area. At least 100,000 people, in 245 villages, live in the area
affected by submergence. In Gujarat and Maharashtra almost all of those affected are
tribal people. In addition, there are 140,000 families who will be disrupted by the
construction of the canal and irrigation system. Finally, there are the people living
downstream below the dam, numbering thousands more, who also will be adversely
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affected. Sardar Sarovar became the focus of the debate, in India and internationally,
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Assessment
on how to balance economic development on the one hand, and human rights and
environmental protection on the other.
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Independent SIA and EIA review

Now in its final stages, the scheme was also heavily criticised because of the
deficiencies in the EIA and SIA processes which were applied. In 1992, the Sardar
Sarovar scheme became the subject of an independent review commissioned by the
World Bank and triggered by its credit and loan agreement with the Indian and state
governments involved. On the social side, the review was to consider the measures
being taken for the resettlement and rehabilitation of people displaced or affected by
the reservoir and infrastructure or affected by the canal. On the environmental side,
it was to consider measures being taken to ameliorate the impact of all aspects of the
Projects.
Key findings and conclusions
At the time of the review, World Bank directives had set the highest standards for
mitigating adverse consequences to people who were to be involuntarily resettled
(although these were not in force when the credit and loan agreements were signed).
Bank policy requires that those displaced improve or at least regain their prior
standard of living. In addition, their human rights must be respected, and cannot be
nullified on grounds of national sovereignty or economic interest.
The issues in Sardar Sarovar were complicated because the majority of those
displaced were tribal people who usually have no formal title to the land they
occupy and were considered by two state governments to be encroachers and not
entitled to resettlement. The review found this position to be non-compliant with
recognized norms of human rights. In addition, it concluded that a number of issues
of related to the environmental impact of the scheme were unresolved and
questioned the assumptions used in project design and mitigation.
After the Bank issued performance benchmarks for the scheme, India advised that
it would not call on the outstanding balance of the loan and would complete the
Sardar Sarovar itself.
Source: Berger (1994).
Describe the benefits of SIA, highlighting the importance of

systematically addressing the human consequences of major
proposals. Ask participants to develop a list of benefits relating to
local conditions.
Despite increasing use, SIA still is not uniformly required or carried out for
all development proposals with significant human consequences. This is the
case in many developing countries, where meeting basic human needs is
understandably seen as an overwhelming priority. However, the Sardar
Sarovar scheme (Box 1) exemplifies how disregarding social impacts can
alter the benefit-cost equation of development and, in this case, undermine
its overall viability. Many dams and other types of projects, with potentially
significant social impacts, have been criticised because an inadequate SIA or
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For such projects, the benefits of undertaking a systematic SIA can include:
reduced impact on communities or individuals identification of

mitigation measures is an integral element of SIA;
enhanced benefits to those affected SIA preparation also helps identify

measures such as job training packages;
avoiding delays and obstruction a well prepared SIA demonstrates that

social impacts are taken seriously and helps to gain development
approval;
lowered costs addressing social impacts and mitigation measures at an

early stage helps to avoid costly errors and remedial actions imposed at
a later stage by regulatory agencies;
better community and stakeholder relationships experience has shown

that SIA can help to allay fear and concern and build a basis of trust
and cooperation necessary for the proponent to successfully introduce
and operate the project; and
improved proposals an SIA provides information that adds value to

existing projects and helps to design future ones.
none at all was carried out (see, report of the World Commission on Dams at
http://www.dams.org).
In many cases, the above benefits of SIA are not anticipated or expected by
the different parties involved in the process. For example:
developers may focus only on the short term costs of the SIA, see it as a
process that may be hijacked by proponents, or consider the risk of
early disclosure outweighs any potential benefit of conducting the
study;
governments or decision makers may not support transparency of the

decision making process; and
communities may not consider the SIA process as impartial or may see
it as a mechanism to deflect their objections to a project.
Discuss the steps and principles of SIA, noting the similarities and
differences to the process followed in EIA.
Typically, the SIA process follows the iterative steps taken in the EIA
process, although with a different emphasis to take account of the impacts
on people (as shown in Box 2 below). Most obvious is the particular type of
information gathered for an SIA, which can include basic characteristics of
the affected population, current issues, political and civic institutions, social
structures, cultural traditions and attitudes and social-psychological
attributes. A participatory approach is also strongly represented in the SIA
process, beginning at the earliest stage and continuing throughout. Other
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elements of the SIA process that are distinctive include prediction of impacts
in terms of how affected people will respond in attitude and behaviour.
As in EIA, SIA practitioners place considerable importance on mitigation,
monitoring and impact management. In addition, post-project analysis is
recognised as critical to gaining a better understanding of social impacts and
how to manage them. However, in practice, implementation and follow up
are not always undertaken systematically, and, often, SIA continues to be a
one-off exercise that cannot be grounded in the context of comparable
projects. This process constrains SIA practice, undermines its potential
contribution to decision-making and inhibits its acceptance by others; for
example, when people affected by a proposed change, understandably,
individualise and exaggerate impacts and comparable, empirical
information is wanting.
In this context, considerable guidance is now available on SIA good practice,
both generally and with specific reference to EIA procedures established by
countries or international agencies such as the World Bank. The principles
and guidelines outlined in Box 3 were prepared by leading SIA practitioners
from the US. However, they are sufficiently generic to have gained a
measure of international acceptance. Most importantly, perhaps, the
principles and main steps of the SIA process indicate how common issues of
SIA practice, such as data limitations, can be addressed.
Other SIA practitioners have refined this framework to meet their particular
purposes. Currently, an IAIA project is underway to develop International
Guidelines and Principles for Social Impact Assessment (see www.iaia.org).
For example, this project has identified principles relating to the integration
of biophysical and social impacts which:
recognize that all environmental impacts are experienced in human

terms;
extrapolate all biophysical changes to their implications for people; and
take account of the implications of seasonality for people and their

activities.
Ideally, an interdisciplinary approach will be taken to integrate SIA and EIA

studies (see Topic 12 EIA project management). At a minimum, the
information on social and environmental impacts should be synthesised into
a coherent impact statement (see Topic 8 Reporting). When an SIA is
conducted as a separate study or is a major component in its own right, it
should be conducted with reference to the EIA process (and vice-versa) and
key findings should be cross referenced.
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1.
public involvement develop and implement an effective public involvement

plan to involve all interested and affected stakeholders
6&7
2.
identification of alternatives describe the proposed action and reasonable

alternatives to it, including the no action alternative
3.
profile of baseline condition document the relevant human environment/area

of influence of the proposal and the existing social conditions and trends
Box 2: Steps in the SIA process
(using the characteristics and variables described previously)

4.
scoping identify and prioritise the range of likely social impacts through a
variety of means, including discussion or interviews with numbers of all
potentially affected
5.
projection of estimated effects analyse and predict the probable impacts of the
proposal and the alternatives against baseline conditions (with versus without
the action)
6.
prediction and evaluation of responses to impacts determine the significance of

the identified social impacts to those who will be affected
7.
estimate indirect and cumulative impacts identify the subsequent, flow-on

effects of the proposal, including the second/third order impacts and their
incremental impacts when added to other past, present and foreseeable
current activities
8.
changes to alternatives recommend new or changed alternatives and estimate

or project their consequences for affected and interested stakeholders
9.
mitigation develop and implement a mitigation plan, in order of preference to

firstly avoid, secondly minimise and thirdly compensate for adverse impacts
10.
monitoring develop and implement a monitoring programme to identify

deviations from the proposed action and any important unanticipated impacts
Source: Interorganizational Committee on Guidelines and Principles [for Social Impact

Assessment] (1994).
Box 3: Principles of SIA good practice
8&9
involve the diverse public identify and involve all potentially affected groups
and individuals
analyse impact equity identify who will win and who will lose, and emphasise
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vulnerability of under -represented groups
focus the assessment deal with the issues and public concerns that really count
not those that are just 'easy to count'
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identify methods and assumptions and define significance describe how the SIA is
conducted, what assumptions are used and how significance is determined
provide feedback on social impacts to project planners identify problems that

could be solved with changes to the proposed action or alternatives
use SIA practitioners trained social scientists employing social science

methods will provide the best results
establish monitoring and mitigation programmes manage uncertainty by

monitoring and mitigating adverse impacts
identify data sources use published social scientific literature, secondary data
and primary data from the affected area
plan for gaps in data make clear any incomplete or unavailable information
and the reasons why this could not be obtained
Source: Interorganizational Committee on Guidelines and Principles [for Social Impact

Assessment] (1994).
Review the methodological frameworks, sources of information and

tools that are used in SIA. Ask participants to consider the approach
that might be applied to assess social impacts that are relevant
locally.
There are sharp differences among SIA experts on the methodological
frameworks that should be applied to assess social impacts. A number of
orientations can be identified. Notably, there is a polarisation between the
rational-scientific approach, which emphasises prediction of change (with
versus without the project), and the socio-political approach, where SIA is
oriented toward community development and empowerment. In practice,
however, these differences may not be so apparent, moderated by EIA
procedure and Terms of Reference and by a common emphasis on the
management of social impacts.
Both schools of SIA draw on the following sources of information:
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data about the proposal;
experience with similar actions, e.g. as evidenced in other SIA reports;
census and vital statistics on the area/ population affected;
secondary materials, which document baseline conditions and trends;

and
survey and field research, including interviews, meetings and other

contact means.
A number of tools and techniques are used to assess the human impact of
development proposals. Much of the analytical work in SIA centres on
prediction of potential change in key social variables as established in the
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The World Bank tool kit has particular reference to SIA in the context of
developing countries. It emphasises interactive methods, which can be used
to collect baseline information, to build a profile of the existing social
situation and to gain an understanding of how a proposal might affect a
community. Some of the methods engage stakeholders directly in the
process of predicting impacts. For example, participatory and communitybased approaches involve affected local people in estimating how their
lifestyles are likely to alter as a result of projected changes. However, these
estimates should be corroborated, especially if there is no local experience of
the kinds of impacts expected.
scoping phase. Some of the methods that are commonly applied for this
purpose are outlined in Box 4. A larger kit of social assessment tools and
methods identified by the World Bank are described in Handout 13-2. It
classifies methods into five types of overlapping approach: analytical,
communitybased, observation and interview, participatory, and workshopbased.
Depending on its scope, an SIA may use a number of tools and techniques.
This can help to address the problem of incomplete data, as well as compare
and highlight any variations in information derived from different sources.
Generally, an integrated approach, which combines a number of methods,
will provide the most composite and reliable prediction of impacts and
identification of suitable measures to mitigate and manage them. In practice,
however, this is not always possible, and often no more than two or three
SIA tools will be used in an EIA-based process.
At a minimum, the prediction of social impacts should be based on:
understanding of the affected population how are people likely to

respond to and be affected by a given proposal?
comparison with similar cases what is the experience with the effects
of proposed actions on similar communities elsewhere?
appropriate expertise and knowledge base has the analysis been

undertaken by an experienced SIA practitioner using suitable methods
and tools?
Box 4: Methods commonly used for predicting social impacts

trend extrapolations projecting current trends, such as population change or
11
employment, into the future (with or without modifying the rate of change)
population multipliers extrapolated increases in population size are coefficients for
the change in other variables, such as employment and demand for housing,
infrastructure or services
consulting experts use of expert knowledge such as researchers, professional
consultants, local authorities, or knowledgeable citizens
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scenarios exercises to develop the likely, alternative or preferred future of a

community or society. Scenarios can be used to compare different outcomes (best
versus worst case)
comparative studies examining how an affected community has responded to change
in the past, or the impact on other communities that have undergone a similar action
Source: adapted from Taylor, Goodrich and Bryan (1998).
Consider aspects of good practice in the conduct of an SIA study,

including factors that need to be taken into account to implement the
principles described earlier. Ask participants to consider which
aspects are important when assessing social impacts locally.
When conducting an SIA, the following factors and considerations can assist
in implementing and amplifying the principles set out in Box 3:
identifying trends when gathering baseline data on an affected

community, it is important to situate the profile or 'snap shot' in a
dynamic context by identifying the changes that are occurring already
from non-project sources;
taking account of initial response to project announcement support or

opposition may be an impact itself or an indicator of the likely degree
of community cohesion or conflict over social issues;
qualifying data sufficiency and reliability where SIA is hampered by a

lack of adequate data, err on the conservative side in reporting any
potentially significant impacts (e.g. stating that it cannot be ruled out
with confidence rather than concluding it is not proven);
predicting key issues it is better to be roughly correct on the matters

that count, rather than quantifying the impacts that can be counted;
and
team building experienced social scientists need to be an integral part

of the EIA team to predict these key issues and establish linkages to
biophysical impacts. Often, team building must address cultural style
as well as disciplinary differences, for example when relating an SIA to
the EIA and project planning timetable on the one hand and the norms
and traditions of an affected community on the other.
12
Analysing impact equity, who gains and who loses from a proposal, is
central to the SIA process. Good practice principles are set out in Box 5.
Normally, emphasis will be given to identifying and mitigating adverse
impacts. These impacts should be specified and reported for each group
likely to be differently affected and appropriate mitigation measures taken
to ensure their brunt is not borne disproportionately. In this regard,
particular attention is given to highlighting adverse impacts on people who
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Examples include:
communities and groups who are dependent on land and resources for
their subsistence and livelihood, typically, are significantly affected by
a proposal that reduces or degrades the resource base or alters their
access, use or management regime;
indigenous peoples and ethnic minorities are at particular risk in this

regard, since their culture, lifestyle and values are inseparably attached
to their environment;
long term residents or the elderly may suffer greater health and
psychological impacts than other groups as a result of community
disruption; and
the poor, landless, illiterate and disadvantaged often struggle to

express or press their concerns because they lack political power and
influence over events.
are sensitive or vulnerable, for example by reason of age, gender, ethnicity,

caste, poverty or other factors.
Impact equity can be effectively assessed only if an attempt is made to

minimise any bias and take full account of the consequences for
disadvantaged and marginalised groups. SIA practitioners guard against the
following factors:
spatial bias information gathering focuses on accessible locations and

overlooks remote or nomadic tribes;
seasonal bias an SIA may be carried out at a time when it is difficult to

gain a representative information on an affected community, for
example during harvest time or hunting season;
personal bias consultation and interviews may be dictated by cultural

traditions or power structures, for example limited to political leaders,
elders or men; and
professional bias lack of interaction between disciplinary specialists

may result in important links between the environment and society
being omitted.
Box 5: Good practice in analysing impact equity
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predict adverse impacts
specify for each group
explain reasons for variations
highlight impacts on vulnerable groups
guard against representational bias
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Conclude by stressing the importance of good practice in mitigation,

monitoring and management of social impacts. Ask participants to
consider which are locally the most important aspects in mitigating
social impacts.
The practical emphasis in SIA is on mitigation of the adverse impacts of a
proposal and, more broadly, the management of social change. Principles
that are specific to impact management and minimisation are summarised in
Box 6. These elaborate the guiding principles introduced earlier (Box 3) and
recognise the need for a proactive approach to this phase of SIA. In
particular, the concern is to move away from a narrow focus on the role of
prediction, seeing it as a necessary step to design customised measures for
avoiding, reducing and managing social impacts, for example of an influx of
construction workers into a small settlement.
Mitigation for social impacts should follow the same hierarchy that is used
for other types of impact (see Topic 7 Mitigation and impact management).
This gives priority first to impact avoidance, second to reduction or
minimisation of impacts, and lastly to offset or compensation. Social impacts
can be avoided by 'at source' changes, for example, site selection of a dam or
airport project so people do not have to be relocated or their lives disrupted.
Impacts can be reduced by various measures, such as sound proofing houses
within the noise footprint of an airport, scheduling construction traffic, use
of dust suppression techniques, etc. Compensation should be used for
residual impacts only where no other options are available to ensure people
are no worse off than before.
Where compensation is unavoidable, it is often inappropriate to provide this
only in monetary form. This is invariably the case for indigenous peoples
and other vulnerable communities, which cannot replicate their lifestyle
elsewhere or mediate the impacts experienced. In other cases, monetary
compensation places the onus of solving the problem on the individual or
community, rather than on those who are responsible for causing the impact.
Equally, however, there are circumstances where a compensation package
can be used in positive and innovative ways to support social development
that otherwise may not be possible.
Monitoring and other follow up activities are critical to strengthening
mitigation practice and to improving the effectiveness of SIA, in general. As
in EIA, the main purpose of monitoring is to identify differences between
predicted and actual social impacts in order to determine whether and what
type of adjustments and interventions are necessary (see Topic 11
Implementation and follow up). In developing and transitional countries, where
experience with SIA may be limited, institutional and capacity building may
be required to effectively carry out impact management. SIA training needs
and priorities for a given country may differ from those identified for EIA in
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Box 6: Good practice in impact mitigation and management
14 &15
identify mitigation measures for each impact
customise them to the different groups affected
give priority to avoiding social impacts
then minimise them as far as practicable
use compensation as a last resort
ensure impacts are not borne disproportionately by one group
no one should be worse off than before
treat relocation/resettlement as a special case
livelihoods of those displaced should be improved
enhance benefits for local people through job training and development
general, and should be specified separately (see Topic C Training needs

analysis).
packages
Include a training activity to reinforce the topic (if desired).

Summarise the presentation, emphasising those aspects of the topic
that apply locally.
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References and further reading
Reference list
The following references have been quoted directly, adapted or used as a
primary source for major parts of this topic.
Berger T (1994) The Independent Review of the Sardor Sarovar Projects, 1991-1992.
Impact Assessment 12:1, 3-20.
Goodland R (1999) Social and Environmental Assessment to Promote Sustainability.
Paper presented to the Annual Meeting of the International Association for Impact
Assessment, Glasgow. (Informal draft available from Environment Department,
World Bank, Washington, D.C.)
Interorganizational Committee on Guidelines and Principles for Social Impact
Assessment (1994) Guidelines and Principles for Social Impact Assessment. Impact
Assessment, 12(2): 107-152.
Taylor N, Goodrich C and Bryan H (1998) Social Assessment. In Porter A and
Fittipaldi J (eds) Environmental Methods Review: Retooling Impact Assessment for the
New Century (pp.210-218). The Press Club, Fargo, USA.
Vanclay F (1999) Social Impact Assessment. In Petts J. (ed) Handbook of Environmental
Impact Assessment (Vol 1, pp. 301-326). Blackwell Science Ltd, Oxford, UK.
World Bank Environmentally and Socially Sustainable Development Knowledge
Bank at http://www.worldbank.org
World Commission on Dams (2001) Dams and Development: A New Framework for
Decision-Making. Earthscan, London (also at) http://www.dams.org
Further reading
Asian Development Bank (1994) Handbook for the Incorporation of Social Dimension in
Projects. Social Development Unit, Asian Development Bank, Manila, Philippines.
Burdge R and Vanclay F (1995) Social Impact Assessment in Vanclay F and Bronstein
D (eds) Environmental and Social Impact Assessment (pp. 31-65). John Wiley & Sons,
Chichester, UK.
Cernea M and Kudat A (eds) (1997) Social Analysis for Investment Projects: Rationale,
Content and Methods. ESSD Monograph 16, World Bank, Washington, D.C.
478
UNEPEIA Training Resource Manual
Second edition 2002
Developing Countries. Westview Press, Boulder, Colorado, USA.

Reitbergen-McCracken J and Narayan D (1998) Participation and Social Assessment:
Tools and Techniques (Book and video). Social Development Family, World Bank,
Washington D.C.
References and further reading
Finsterbusch K, Ingersoll J and Llewellyn L (1990) Methods for Social Analysis in
Topic 13
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Training activities
Training activities
Training activities will be more instructive if they are framed around a local
proposal. Consider inviting prospective course participants to make a presentation if
they have expertise in this area of EIA.
Discussion themes
13-1 What types of social issues and impacts are associated with
development proposals locally?
13-2 How are these impacts addressed and under which processes? Does
the EIA process apply? If not, is this because of the legal provision or
just accepted practice?
13-3 What changes, if any, would be necessary to include consideration of
social impacts in the EIA process? What should be the scope of
consideration of social impacts in EIA? Should there be a separate SIA
process?
13-4 Where SIA is part of EIA it follows similar steps, including scoping
and consideration of alternatives. What information needs to be
gathered to identify the key social impacts of a development
proposal? How might this information then be used to identify
feasible alternatives to a proposal?
13-5 SIA methodology involves estimating the response of people to
predicted impacts and evaluating who gains and who loses (impact
equity). How might these activities be carried out as part of an SIA
conducted locally? What methods and expertise would be needed and
available for this purpose?
13-6 What measures might be used to mitigate social impacts that are
important locally? How could their effectiveness be monitored, and
what management strategies could be adopted in the event that an
impact is greater than forecast?
13-7 Consider whether local capacity and data sources are sufficient to
carry out the key stages and activities of SIA. If not, how can the
information and expertise best be developed, and what kind of
strategy can be followed in conducting SIA in the interim?
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13-1 Invite a speaker who is knowledgeable about the local societal

structure and values to review key trends and developmental issues,
and to provide a perspective on how communities and groups
respond to proposed actions.
Training activities
Speaker themes
13-2 Invite a speaker who has experience in managing or conducting an

SIA locally to discuss the various approaches/methodologies that
have been used and how they could be improved in future work. The
presentation should be supported by examples of the work.
13-3 Invite a speaker who has experience with SIA methods to show the
participants how they work and what they can be used for. Ensure
that some of the discussion covers the data requirements for the
method and that note is made of any limitations.
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Training activities
Group Activity 13-1: Determining the scope of an SIA

Title:
Social impact scoping
Aim:
To understand how scoping procedures can be used to

identify the key social impacts of a proposal
Group size:
Four to six people
Duration:
Half to one day, depending on the desired level of detail
Resources required:
o
Background information from local project(s).
Copies of Handout 13-1.
Summary of Topic 5 Scoping.
Examples of EIA checklists, matrices etc that can be adapted to

identify the social impact of candidate project(s).
Description of activity:
o
Get the group as a whole to review Handout 13-1 to adapt/develop

a shortlist of social impacts that are relevant locally in relation to
development proposals.
Assign each group the task of adapting and applying one of the
methods (matrix, checklist etc) to identify the social impacts for a
project.
Assemble the group as a whole and ask each small group to

summarise its findings, noting any problems that were encountered,
the impacts that were identified and how the method used might
be improved.
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Title:
Consideration of impact equity who gains and who

loses
Aim:
To gain an appreciation of the quality of an SIA report and

how it can be evaluated
Training activities
Group Activity 13-2: Review of social impact assessment
Group size: Pairs

Duration:
Half to one day, depending on the required level of detail
Resources required:
o
An EIA/SIA report for each pair (prepared locally or containing

information on social impacts that are relevant locally).
Handout 13-2 Social assessment methods.
Description of activity :
Each pair is to:
o
review the EIA/SIA report, listing the groups that were affected and
the major social impacts that were identified;
check whether or not the impacts predicted were differentiated in

relation to each affected group and there was a statement of who
gained and who lost;
summarise the strengths and weaknesses of the approach taken,

including the methods used and the way the findings were reported;
and
recommend how the approach could have been improved, giving

particular attention to methods that may be more suited to assess
impact equity.
Topic 13
The whole group should convene to discuss the findings.

Assemble the group as a whole and ask each small group to summarise its
findings, noting any problems that were encountered, the impacts that were
identified and how the methods used might be improved.
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Impact
Assessment
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Support materials
Aims and objectives of SIA are to:
analyse how proposals affect people
identify and mitigate adverse impacts
enhance benefits
help manage social change
Scope of SIA
SIA conducted under EIA legislation and procedure
scope of SIA differs with jurisdictional arrangements
initially limited to environmentally-related changes
larger range of social impacts now considered
comprehensive SIA often a separate process
focuses on social issues of sustainable development,

poverty alleviation and justice
Causes of social impacts
demographic change, e.g. population size and composition
economic change, e.g. employment and income
environmental change, e.g. air and water quality
institutional change, e.g. law and administration
Types of social impact
lifestyle behaviour and relationships
cultural customs, values and religious beliefs
community infrastructure, services and networks
amenity/quality of life sense of security, livability and futurity
health mental and physical well being
SIA benefits can include:
484
reduced impact on people
enhanced benefits for those affected
avoiding delays and obstruction
lowering costs by timely actions
better community and stakeholder relationships
improved future proposals
Second edition 2002
Support materials
Steps in the SIA process
6&7
public involvement plan
identification of alternatives
profiling of baseline conditions
scoping of key issues
projection of estimated effects
prediction and evaluation of responses to impacts
estimate indirect and cumulative impacts
recommend changes to alternatives
develop and implement a mitigation plan
develop and implement a monitoring programme
Principles of SIA good practice
8&9
involve the diverse public
analyse impact equity
focus the assessment
identify methods and assumptions and define significance
provide feedback on social impacts to project planners
use experienced SIA practitioners
establish monitoring and mitigation programmes
identify data sources
plan for gaps in data
Sources of SIA information
10
data on the proposal
experience with similar actions
census and vital statistics
secondary documents
survey and field research
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Support materials
Methods commonly used for predicting social impacts include:
11
trend extrapolations
population multipliers
use of expert knowledge
scenario building
comparative studies
Basis of good practice in prediction of social impacts
12
understanding those affected and their likely responses
comparisons with experience in similar cases
use of appropriate expertise and knowledge base
Good practice in analysing impact equity
13
predict adverse impacts
specify for each group
explain reasons for variations
highlight impacts on vulnerable groups
guard against representational bias
Good practice in impact mitigation and management
14 & 15
486
identify mitigation measures for each impact
customise them to the different groups affected
give priority to avoiding social impacts
then minimise them as far as practicable
use compensation as a last resort
ensure impacts are not borne disproportionately by one group
no one should be worse off than before
treat relocation/resettlement as a special case
livelihoods of those displaced should be improved
enhance benefits for local people through job training and development
packages
Second edition 2002
Handout 131
Topic 13: Social Impact Assessment
Social Impact Assessment methods

Individual and household level
1.
death, death of family member
2.
arrest, imprisonment, detention, torture, intimidation or other abuse of human rights inflicted on
individual
3.
reduced availability of food and adequate nutrition
4.
reduced control over fertility (availability of contraception, and empowerment)
5.
reduced level of health and fertility (ability to conceive)
6.
reduced mental health increased stress, anxiety, alienation, apathy, depression
7.
uncertainty about impacts, development possibilities, and social change
8.
actual personal safety, hazard exposure
9.
experience of stigmitisation and deviance labelling
10.
reduction in perceived quality of life
11.
reduction in standard of living, level of affluence
12.
worsening of economic situation, level of income property values
13.
decreased autonomy, independence, security of livelihood
14.
change in status or type of employment, or becoming unemployed
15.
decrease in occupational opportunities potential diversity flexibility in employment
16.
moral outrage, blasphemy, religious affront, violation of sacred sites
17.
upset (objection/opposition to the project), NIMBY (not in my back yard)
18.
dissatisfaction due to failure of a project to achieve heightened expectations
19.
annoyance (dust, noise, strangers, more people)
20.
disruption to daily living, way of life (having to do things differently)
21.
reduction in environmental amenity value
22.
perception of community, community cohesion, integration
23.
community identification and connection to place (do I belong here?)
24.
changed attitude towards local community, level of satisfaction with the neighbourhood
25.
disruption to social networks
26.
alteration in family structure and stability (divorce)
27.
family violence
28.
gender relations within the household
29.
changed cultural values
30.
changed perceptions about personal health and safety, risk, fear of crime
31.
changed leisure opportunities
32.
quality of housing
33.
homeliness
34.
density and crowding
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Handout 131:
35.
aesthetic quality, outlook, visual impacts
36.
workload, amount of work needed to be undertaken to survive/live reasonably
Community and institutional level

1
death of people in the community
violation of human rights, freedom of speech
adequacy of physical infrastructure (water supply, sewerage, services and utilities)
adequacy of community social infrastructure, health, welfare, education, libraries, etc.
adequacy of housing in the community
workload of institutions, local government, regulatory bodies
cultural integrity (continuation of local culture, tradition, rites)
rights over, and access to, resources
influences on heritage and other sites of archaeological, cultural or historical significance
10
loss of local language or dialect
11
debasement of culture
12
equity (economic, social, cultural)
13
changed equity /social justice issues in relation to minority or indigenous groups
14
gender relations in the community
15
economic prosperity
16
dependency/autonomy/diversity/viability of the community
17
unemployment level in the community
18
opportunity costs (loss of other options)
19
actual crime
20
actual violence
21
social tensions, conflict or serious divisions within the community
22
corruption, credibility and integrity of government
23
level of community participation in decision making
24
social values about heritage and biodiversity
Adapted from: Vanclay F (updated version) Summary of work on IAIA International Guidelines and Principles for
Social Impact Assessment.
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Handout 132
Social Impact Assessment tools and methods

Analytical tools
Stakeholder Analysis is an entry point to SIA and participatory work. It addresses strategic questions, e.g.
who are the key stakeholders? what are their interests in the project or policy? what are the power
differentials between them? what relative influence do they have on the operation? This information helps
to identify institutions and relations which, if ignored, can have negative influence on proposals or, if
considered, can be built upon to strengthen them.
Gender Analysis focuses on understanding and documenting the differences in gender roles, activities,
needs and opportunities in a given context. It highlights the different roles and behaviour of men and
women. These attributes vary across cultures, class, ethnicity, income, education, and time; and so gender
analysis does not treat women as a homogeneous group.
Secondary Data Review of information from previously conducted work is an inexpensive, easy way to
narrow the focus of a social assessment, to identify experts and institutions that are familiar with the
development context, and to establish a relevant framework and key social variables in advance.
Community-based methods
Participatory Rural Appraisal (PRA) covers a family of participatory approaches and methods, which
emphasises local knowledge and action. It uses to group animation and exercises to facilitate stakeholders
to share information and make their own appraisals and plans. Originally developed for use in rural
areas, PRA has been employed successfully in a variety of settings to enable local people to work together
to plan community-appropriate developments.
SARAR is an acronym of five attributes -- self-esteem, associative strength, resourcefulness, action
planning and responsibility for follow-through -- that are important for achieving a participatory
approach to development. SARAR is a philosophy of adult education and empowerment, which seeks to
optimise people's ability to self-organize, take initiatives, and shoulder responsibilities. It is best classed as
an experiential methodology, which involves setting aside hierarchical differences, team building through
training, and learning from local experience rather than from external experts.
Consultation methods
Beneficiary Assessment (BA) is a systematic investigation of the perceptions of a sample of beneficiaries and
other stakeholders to ensure that their concerns are heard and incorporated into project and policy
formulation. The purposes are to (a) undertake systematic listening, which "gives voice" to poor and other
hard-to-reach beneficiaries, highlighting constraints to beneficiary participation, and (b) obtain feedback
on interventions.
Observation and interview tools

Participant Observation is a field technique used by anthropologists and sociologists to collect qualitative
data and to develop in-depth understanding of peoples' motivations and attitudes. It is based on looking,
listening, asking questions and keeping detailed field notes. Observation and analysis are supplemented
by desk reviews of secondary sources, and hypotheses about local reality are checked with key local
informants.
Semi-structured Interviews are a low-cost, rapid method for gathering information from individuals or
small groups. Interviews are partially structured by a written guide to ensure that they are focused on the
issue at hand, but stay conversational enough to allow participants to introduce and discuss aspects that
they consider to be relevant.
Focus Group Meetings are a rapid way to collect comparative data from a variety of stakeholders. They are
brief meetings -- usually one to two hours -- with many potential uses, e.g. to address a particular concern;
Second edition 2002
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Handout 13-2
Topic 13:Social Impact Assessment
to build community consensus about implementation plans; to cross-check information with a large
number of people; or to obtain reactions to hypothetical or intended actions.
Village Meetings allow local people to describe problems and outline their priorities and aspirations. They
can be used to initiate collaborative planning, and to periodically share and verify information gathered
from small groups or individuals by other means.
Participatory methods
Role Playing helps people to be creative, open their perspectives, understand the choices that another
person might face, and make choices free from their usual responsibilities. This exercise can stimulate
discussion, improve communication, and promote collaboration at both community and agency levels.
Wealth Ranking (also known as well-being ranking or vulnerability analysis) is a visual technique to
engage local people in the rapid data collection and analysis of social stratification in a community
(regardless of language and literacy barriers). It focuses on the factors which constitute wealth, such as
ownership of or right to use productive assets, their relationship to locally powerful people, labour and
indebtedness, and so on.
Access to Resources is a tool to collect information and raise awareness of how access to resources varies
according to gender, age, marital status, parentage, and so on. This information can make all the
difference to the success or failure of a proposal; for example, if health clinics require users to pay cash
fees, and women are primarily responsible for accompanying sick or pregnant family members to the
clinic, then women must have access to cash.
Analysis of Tasks clarifies the distribution of domestic and community activities by gender and the degree
of role flexibility that is associated with each task. This is central to understanding the human resources
that are necessary for running a community.
Mapping is an inexpensive tool for gathering both descriptive and diagnostic information. Mapping
exercises are useful for collecting baseline data on a number of indicators as part of a beneficiary
assessment or rapid appraisals, and can lay the foundation for community ownership of development
planning by including different groups.
Needs Assessment draws out information about people's needs and requirements in their daily lives. It
raises participants' awareness of development issues and provides a framework for prioritising actions
and interventions. All sectors can benefit from participating in a needs assessment, as can trainers, project
staff and field workers.
Pocket Charts are investigative tools, which use pictures as stimulus to encourage people to assess and
analyse a given situation. Made of cloth, paper or cardboard, pockets are arranged into rows and
columns, which are captioned by drawings. A "voting" process is used to engage participants in the
technical aspects of development issues, such as water and sanitation projects.
Tree Diagrams are multi-purpose, visual tools for narrowing and prioritising problems, objectives or
decisions. Information is organized into a tree-like diagram. The main issue is represented by the trunk,
and the relevant factors, influences and outcomes are shown as roots and branches of the tree.
Workshop-based methods
Objectives-Oriented Project Planning is a method that encourages participatory planning and analysis
throughout the project life cycle. A series of stakeholder workshops are held to set priorities, and integrate
them into planning, implementation and monitoring. Building commitment and capacity is an integral
part of this process.
TeamUP was developed to expand the benefits of objectives-oriented project planning and to make it more
accessible for institution-wide use. PC/TeamUP is a software package, which automates the basic step-bystep methodology and guides stakeholders through research, project design, planning, implementation,
and evaluation.
Source: edited and abridged from document on the World Bank web site (http//www.worldbank.org.)
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Topic 13

Social Impact Assessment

Training session outline

Topic 13Social Impact Assessment

the role and scope of Social Impact Assessment (SIA) in

the types of social impacts that can result from

the principles, procedure and methods that are used to

Important note to trainers

background of participants in mind, and concentrate on

depending on the depth of treatment, the existing skills

EIA Training Resource Manual

Second edition 2002

Training session outline

Obtain or develop the following, as appropriate:

examples of locally relevant SIA procedure and methods,

examples of any EIA reports which include reference to

examples of local studies or research on social change,

estimate of the resources (time, money and expertise)

contact names and telephone numbers of people,

other resources that may be available such as videos,

EIA Training Resource Manual

Second edition 2002

Welcome participants to the session by introducing yourself and

This topic provides an introduction to Social Impact Assessment (SIA) and

Training session outline

There is no widely agreed definition of SIA. Put simply, it focuses on the

EIA Training Resource Manual

Second edition 2002

Training session outline

context of EIA. However, there is not yet a common understanding of its

A composite list of social impacts is contained in Handout 13-1. However,

demographic change, e.g. size and composition of resident population,

economic change, e.g. new patterns of employment/ income, real estate

environmental change, e.g. alterations to land use, natural habitat and

institutional change, e.g. in the structure of local government or

EIA Training Resource Manual

Second edition 2002

cultural impacts on shared customs, obligations, values, language,

community impacts on infrastructure, services, voluntary

amenity/quality of life impacts on sense of place, aesthetics and heritage,

health impacts on mental, physical and social well being, although

Training session outline

The key points of the above discussion are that:

social and biophysical impacts are interconnected and should be

SIA is understood to be concerned with the human consequences of

EIA combined with SIA is an entry point to integrated impact

EIA Training Resource Manual

Second edition 2002

Training session outline

power and industrial plants (community stress from influx of work

dams and reservoirs (lifestyle disruption resulting from relocation,

roads and linear developments (dislocation of activity networks and

It is also important to consider how social impacts may vary in accordance

Planning or policy development This phase, beginning with project

Construction/implementation This phase usually will have the greatest

EIA Training Resource Manual

Second edition 2002

Operation and maintenance This phase of a project normally continues

Decommissioning or abandonment This phase can have a significant

Training session outline

Box 1: Social impact of the Sardar Sarovar scheme, India

EIA Training Resource Manual

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Training session outline